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Financial Services Weekly News: SEC Proposes New Derivatives Rule

In This Issue. The Securities and Exchange Commission (SEC) proposed a rule that would permit funds to enter into derivative and certain other transactions, notwithstanding leverage restrictions under the Investment Company...more

Financial Services Weekly News: SEC Modernizes ETF Regulation, Issues Guidance on Performance and Fee Disclosures

In This Issue. The Securities and Exchange Commission (SEC) adopted a rule permitting most exchange-traded funds that satisfy a set of standardized conditions to operate without the expense and delay of obtaining exemptive...more

Financial Services Weekly News: OCIE Issues Risk Alert On Investment Adviser Principal And Agency Cross Trading Compliance

In This Issue. The Securities and Exchange Commission (SEC) issued a risk alert on investment adviser principal and agency cross trading compliance issues, published disclosure interpretations relating to the Inline XBRL...more

Financial Services Weekly News: Securities Regulators Issue New Guidance on Opportunity Zones, LIBOR transition

EDITOR'S NOTE - In This Issue. The Securities and Exchange Commission (SEC) and North American Securities Administrators Association (NASAA) explained how state and federal securities laws might apply to fundraising for...more

Financial Services Weekly Roundup - September 2018 #2

In This Issue. The Securities and Exchange Commission (SEC) withdrew interpretive guidance pertaining to reliance on voting recommendations of proxy advisory firms in advance of their upcoming Roundtable on the U.S. proxy...more

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